significant final rule makings of 2004

Significant Final Rule Makings of 2004Significant Final Rule Makings of 2004

Bob Spar, DirectorOffice of Patent Legal Administration (OPLA) (571) 272-7700Deputy Commissioner for Patent Examination Policy (DCPEP)[email protected]

Biotech Partnership MeetingDecember 8, 2004

December 8, 2004 2

Final Rule Makings

I. Changes to Support Implementation of the USPTO 21St Century Strategic Plan, Final Rule, 69 Fed. Reg. 56481 (September 21, 2004), 1287 Off. Gaz. Pat. Office 67 (October 12, 2004).

II. Rules of Practice before the Board of Patent Appeals and Interferences, Final Rule, 69 Fed. Reg. 49959 (August 12, 2004), 1286 Off. Gaz. Pat. Office 204 (September 7, 2004).

III. Revision of Power of Attorney and Assignment Practice, Final Rule, 69 Fed. Reg. 29865 (May 26, 2004), 1283 Off. Gaz. Pat. Office 148 (June 22, 2004).

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Final Rules, Federal Register Notices, and Official Gazette Notices are available on the USPTO web site at: http://www.uspto.gov/web/offices/pac/dapp/ogsheet.html

Changes to Support Implementation of the United States Patent and Trademark Office 21st Century Strategic Plan, Final Rule, 69 Fed. Reg. 56481 (September 21, 2004), 1287 1287 Off. Gaz. Pat. OfficeOff. Gaz. Pat. Office 67 (October 12, 2004). 67 (October 12, 2004).

I. Changes to Support Implementation of the USPTO 21st Century Strategic Plan

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Significant Changes

§ 1.4 Signatures (adding Electronic and S-signatures)

§ 1.6 Submission of Drawing by Facsimile§ 1.17 Petition Fees§ 1.19 Document Supply Fees§ 1.27 Small Entity Status§ 1.52 Font Sizes, Compact Disc Specifications§ 1.57 (New) Incorporation by Reference§§ 1.58, 1.83 Tables, Sequence Listings§ 1.76 Application Data Sheet§ 1.78 Benefit Claims§ 1.84 Drawings§§ 1.91, 1.94 Models, Exhibits, Specimens§ 1.98 Information Disclosure Statements§ 1.102 Advancement of Examination§ 1.105 Requirements for Information§ 1.111 Supplemental Replies§ 1.115 Preliminary Amendments§§ 1.175, 1.178 Reissue Applications§ 1.215 Eighteen Month Publication§1.291 Protests

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Effective Dates

There are three effective dates based on the September 21, 2004 date of publication of the final rule in the Federal Register, as follows:

1. September 21, 2004 - The changes to 37 CFR §§ 1.4, 1.6, 1.10, 1.27, 1.57(a)(1) & (a)(2), 1.78, 1.84, 1.115, 1.137, 1.178, and 1.311.

2. October 21, 2004 - The changes to 37 CFR §§ 1.8, 1.52, 1.57 (b) – (g),1.58, 1.63, 1.69, 1.76, 1.83, 1.85, 1.91, 1.94, 1.98, 1.102, 1.105, 1.111, 1.121, 1.131, 1.165, 1.173, 1.175, 1.179, 1.215, 1.324, 10.18 and 104.3.

3. November 22, 2004 - The changes to 37 CFR §§ 1.12, 1.14, 1.17, 1.19, 1.47, 1.53, 1.57(a)(3), 1.59, 1.84(a)(2), 1.103, 1.136, 1.182, 1.183, 1.291, 1.295, 1.296, 1.377, 1.378, 1.550, 1.741, 1.956, 5.12, 5.15, 5.25 and 41.20.

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3 Types of Permitted Signatures37 CFR 1.4(d)

I. Handwritten (personally signed) signatures are now specifically provided for in § 1.4(d)(1).

The following additional types of signature are now acceptable:II. S-signatures (§ 1.4(d)(2)):

Example for signing applicant: /James Jones/ James T. Jones

III. Electronic Filing System (EFS) character coded (electronic) signatures for correspondence transmitted via EFS (§1.4(d)(3))

Note: electronic signatures in EFS must be completed by filling in the appropriate EFS menu

EFS signatures have previously been acceptable under a waiver.

Note: Samples of acceptable signatures for applicants and registered practitioners are posted on the Office’s web site.

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S-Signatures, 37 CFR 1.4(d)(2)Definition and Uses

An S-Signature is any signature between forward slashes that is not a handwritten (§§ 1.4(d)(1) or (e)) or an EFS character coded signature (§ 1.4(d)(3)). It is inserted between the forward slashes by electronic (e.g., a

word processor) or mechanical means. S-Signatures may be used to sign all correspondence unless otherwise explicitly excluded (e.g., when an original handwritten or “wet” signature is required, such as is set forth in 37 CFR 1.4(e)).

S-Signatures may be used on documents that are either: 1. Mailed or hand (courier) delivered, 2. Transmitted by facsimile, or 3. Submitted via EFS directly as an EFS Tagged Image File Format (TIFF) attachment

(e.g., scanned image), to the Office.

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S-Signatures – 5 Requirements37 CFR 1.4(d)(2)

1. The S-signature must consist only of letters (including Kanji, etc.), or Arabic numbers, or both, and appropriate spaces, commas, periods, apostrophes, or hyphens for punctuation.

2. The S-signature must be placed between forward slashes. 3. The person signing must insert his or her own signature, § 1.4(d)(2)(i)

Only the signer can insert their own signature: • a secretary, paralegal, etc., is not permitted to sign/

insert another person’s signature, e.g., a practitioner’s signature, and

• a practitioner is not permitted to sign/insert an inventor’s signature.

Note: Per the rule itself, the person inserting a signature certifies that the signature is his or her own signature (§ 1.4(d)(4)(ii)(B)).

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S-Signature – 5 Requirements (continued)37 CFR 1.4(d)(2)

4. The name of the person signing must be printed or typed immediately adjacent (i.e, below, above, or beside) to the S-signature, and be reasonably specific, so the identity of the signer can be readily recognized.

The name of the person signing may be inserted by someone other than the person signing, but the person signing must personally insert the S-Signature.• For example, a secretary, paralegal, etc., may type the name of the person

signing at any time (e.g., before or after the person signing inserts his or her own signature).

5. A registered practitioner may S-sign but his or her registration number is required, either as part of the S-signature, or immediately below or adjacent to the signature.

• For example: /John Attorney Reg. #99999/ John Attorney

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Examples Where S-Signatures Can Be Used

A practitioner creates a document and S-signature signs it on his/her PC. The practitioner can then: Facsimile transmit the document directly from the PC to the Office; or Print the document and then facsimile transmit, mail, or hand-carry the

document to the Office

An affidavit under § 1.132 is S-signed by the party making the affidavit, the S-signed affidavit is then: Electronically sent to the practitioner, e.g., via an e-mail. The practitioner can

then facsimile transmit, mail or hand-carry the S-signature signed document to the Office.

Note: Per the rule itself, the person submitting a document with an S-Signature or EFS character coded signature is certifying that they have a reasonable belief that the person whose signature is present on the document was inserted by that person § 1.4(d)(ii)(A).

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EFS Character Coded Signatures, 37 CFR 1.4(d)(3)

EFS Character Coded signatures must consist only of English letters, Arabic numbers, or both, with punctuation typed into an EFS menu.(§ 1.4(d)(3)).The person signing must personally insert his/her electronic signature between forward slashes as with S-signatures but: The name of the signer is not required in the rule because it is a required EFS

software input. The EFS software also determines the location of the signer’s printed name and

registration number, if applicable.

The following correspondence filed via EFS as an EXtensible Markup Language (XML) document may include an EFS character coded signature: new applications, assignments, amended biotech listings, and e-IDS’s.

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Examples of EFS Signatures in IFW

How correspondence created using, and transmitted via, EFS with a character coded signature appears in IFW

1. “Electronic Version” and “Stylesheet Version” appear in upper left portion of document indicating the version of EFS software used:

2. Example: The character coded signature is labeled: “Signature” in declaration of this EFS version:

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Name Requirement for S-Signatures and EFS Character Coded Signatures

There is no requirement that the signer’s actual, full or legal name be used. It is strongly suggested that the full name be used;The typed or presented name below the signature

must be reasonably specific enough so that the identity of the signer can be readily recognized(37 CFR 1.4(d)(2)(iii)(B)).

Titles may be included as part of the signature.

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Certification Requirements 37 CFR 1.4(d)(4)

Certification Requirement (§ 1.4(d)(4)(ii)(A))A. For another’s signature: A person submitting a document signed

by another under § 1.4(d)(2) or (d)(3):a. is obligated to have a reasonable basis to believe that the person

whose signature is present on the document actually inserted that signature, and

b. should retain evidence of authenticity of the signature.B. For your own signature: The person inserting a signature under

§ 1.4(d)(2) or (d)(3) in a document submitted to the Office certifies that the inserted signature appearing in the document is his or her own signature.Violations of the signature certifications may result in the imposition of sanctions under §§ 10.18(c) and (d).

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Questionable Signatures

Ratification, confirmation or evidence of authenticity of a signature may be required where the Office has: Reasonable doubt as to to its authenticity, Where the signature and typed or printed name do not clearly

identify the person signing.The failure to follow the S-signature format and content requirements will usually be treated as a bona fide attempt, but will cause the paper to be treated as unsigned with differing results, e.g.: Amendments would receive a new 1-month time period § 1.63 declarations, would receive a two month time period

and a surcharge may be imposed.

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Drawings May Be Submitted by Facsimile - 37 CFR 1.6

Effective date: September 21, 2004 Black and white drawings will be permitted to be transmitted to the

Office by facsimile in all applications other than original filings: Codified previously accepted practice Color photographs or color drawings must continue to be hand-carried

or mailed to the Office instead of being sent by facsimile; and Black and white photographs or drawings with fine details should not

be sent by facsimile:• Transmission via facsimile may degrade the quality of the drawings.

The Office will generally print what is filed.

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Petition Fees37 CFR 1.17

Petition fees have been adjusted to more accurately reflect the Office’s current cost of treating petitions pursuant to 35 U.S.C. § 41(d).

Three levels of petitions fees are provided:1. $130 petition fee retained in § 1.17(h);

• e.g., § 1.102(d) to make an application special,

2. $200 petition fee created in § 1.17(g);• e.g., § 1.47 nonsigning inventor and § 1.59 expungement, and

3. $400 petition fee created in § 1.17(f).• e.g., § 1.53(e) to accord a filing date, § 1.182 for questions not specifically

provided for, and § 1.183 for waiver of a requirement of the rules.

New form PTO/SB/17p is available on the USPTO forms web page.

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Document Supply Fees37 CFR 1.19

Copies of files and/or documents may be provided in paper or electronic form. Electronic form may be: Compact disc (CD); Transmitted over Internet; or Another electronic medium as designated by the Director.For a copy of an application file wrapper and contents, the fee will be: $200 – if provided on paper (up to 400 pages); or $55 – if provided on one compact disc or other electronic form.The seven-day requirement for processing copy requests is removed.

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Small Entity Status37 CFR 1.27

Impact of a Security Interest Held by a Large Entity: A security interest in an application or patent held by a large entity is not a sufficient interest to bar entitlement to small entity status so long as the security interest is not triggered. (§ 1.27(a)(5)).Impact of SBA Requirements on Foreign Applicants: Certain Small Business Administration (SBA) requirements relating to location in the U.S. or making a significant contribution to the U.S. economy do not bar entitlement to small entity status for patent applicants. (§ 1.27(a)(2)(ii)).

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Font Sizes 37 CFR 1.52(b)

Recommended Font Size: The rule is revised to recommend that the preferred font size of text is 12 points, which is identified in the preamble discussion as approximately 0.166 inches or 0.422 cm high (§ 1.52(b)(2)(ii)). See also § 1.58(c).

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Compact Disc Specifications 37 CFR 1.52(e)

The requirements permitting tables on compact disc are changed: A table of any size may be placed on a compact disc if the total number of

pages of all the tables in an application exceeds 100 pages in length (or any single table more than 50 pages in length, which practice is unchanged) (§ 1.52(e)(1)(iii));

What constitutes a table page is clarified to be a page printed on paper pursuant to §§ 1.52(b) and 1.58(c) of this section (§ 1.52(e)(1)(iii));

CD’s must be finalized to assure archival nature of discs. Finalized means that the compact discs are closed to adding further data (§ 1.52(e)(3)(i));

Landscape orientation should be indicated on the transmittal letter: It is clarified that landscape orientation of a table is an example of special information needed to interpret that table and such information should be provided on the transmittal letter (§ 1.52(e)(3)(ii)).

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Incorporation by Reference 37 CFR § 1.57(New Rule)

37 CFR § 1.57 is added to provide for incorporation by reference.1) Section 1.57(a) is added so a priority/benefit claim can be

considered an incorporation by reference of a prior-filed application as to inadvertently omitted material only.

2) Sections 1.57(b) through (e) treat incorporation by reference of essential and nonessential material into an application.

3) Section 1.57(f) covers how material incorporated by reference is inserted, by amendment into the specification or drawings of an application.

4) Section 1.57(g) codifies that a noncompliant incorporation by reference is not effective, and sets forth the requirements for correcting the incorporation by reference to be compliant.

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Priority/Benefit Claim can be Considered an Incorporation by Reference of a Prior-Filed Application - 37 CFR 1.57(a) (New Rule)

Priority/benefit claims will now act as an incorporation by reference of a prior-filed application as to inadvertently omitted material only. 37 CFR 1.57(a).Applies to applications filed on or after September 21, 2004 (effective date for 1.57(a)): The application which inadvertently omitted material must be filed on or

after the effective date but the prior-filed application being relied upon for the omitted material

can be filed prior to the effective date.

Prior practice: Applicant could only add to the current application material found in a prior application if the prior application was expressly incorporated by reference. Material found in a parent application may now be added under § 1.57(a)

(limited to inadvertent omissions) or under express incorporation by reference provision, if present.

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Priority/Benefit Claim can be Considered an Incorporation by Reference of a Prior-Filed Application - 37 CFR 1.57(a) (Requirements)

Requirements for corrective amendment under § 1.57(a): All or a portion of the specification or drawing(s) from a prior-filed application may be added by corrective amendment to a later-filed application claiming the priority/benefit of the prior-filed application under § 1.55 or § 1.78, where:

a) The claim was present on the filing date of the later-filed application; b) The material to be added was inadvertently omitted from the later-filed application; andc) The omitted portion is completely contained in the prior-filed application.

Mere reference to another co-pending application is not a benefit claim (e.g., a statement that prior patent application 09/123456 is copending with the current application), and it will not be treated as an incorporation by reference of any subject matter found therein.

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Priority/Benefit Claim can be Considered an Incorporation by Reference of a Prior-Filed Application – 37 CFR 1.57(a) (Requirements)

Additional Requirements for Corrective Amendment: Along with the amendment to include inadvertently omitted material, applicant must submit:

a) A copy of the prior application, except where the prior application is filed under 35 U.S.C. 111;b) An English language translation, if the prior application is in a foreign language; andc) Identification of where in the prior application the omitted portion to be added to the later application can be found.

A statement that the omission was inadvertent is not required. Any amendment to add the omitted material would constitute a certification

under § 10.18(b).

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Priority or Benefit Claim can be Considered an Incorporation by Reference of a Prior-Filed Application 37 CFR 1.57(a) (Requirements)

Timeliness Requirement for corrective amendment:a) If noted by OIPE or the examiner: within any time period set by the Office, b) If noted by applicant: not later than close of prosecution (as defined by § 1.114(b)) or the abandonment of the application, whichever occurs earlier.

Any amendment to an international application is effective only as to the U.S., and shall not affect the international filing date of the application.

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Incorporation by Reference of Essential and Nonessential Material 37 CFR 1.57(b)-(g) (New)

Sections 1.57(b)-(g) generally codified the existing incorporation by reference practice set forth in MPEP 608.01(p)(8th Ed., rev 2, May 2004) with some changes. Definitions of essential and non-essential material have been added.

The new provisions in § 1.57(b)-(g) apply to applications filed on or after October 21, 2004

Clear intent and identification still required. To be an effective incorporation by reference, it must be expressly presented in the specification, § 1.57(b), as follows:

1) using the root words: “incorporate” and “reference” is now required, and

2) the referenced patent, application, or publication must be clearly identified.

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Incorporation by Reference of Essential Material 37 CFR 1.57(c) (New)

Essential material is material to support claimed invention requirements of 35 U.S.C. 112, paragraphs 1, 2 and 6. § 1.57(c)(1)-(3) Essential Material may be incorporated by reference only to: U.S. patents or U.S. patent application publications, but the

referenced patent or publication may not itself incorporate such essential material. § 1.57(c)

Pending unpublished U.S. applications: Essential material may no longer be incorporated by

reference to an unpublished pending application. The practice of incorporating by reference essential material found in

unpublished applications in which the issue fee has been paid has been eliminated.

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Incorporation by Reference of Essential and Nonessential Material 37 CFR 1.57(d),(e) & (g) (New)

Nonessential material may be incorporated by reference to:U.S. and foreign patents, publications (including U.S. & foreign application publications, and non-patent literature), and commonly owned U.S. applications. § 1.57(d).

Material may not be incorporated using hyperlinks or other form of browser executable codes.Examiner may require submission of a copy of the material incorporated even if properly incorporated. § 1.57(e)

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Incorporation by Reference of Essential and Nonessential Material 37 CFR 1.57(f) & (g) (New)

An incorporation by reference that does not comply with §1.57(b), (c), or (d) is not effective.

There are two correction options when the application as filed clearly conveys an intent to incorporate specific material by reference: but the root words are not used, and/or the referenced document is sufficiently described but not

clearly identified or the material being incorporated is essential material but is

found in certain documents (e.g., pending U.S. applications, foreign patent documents and NPL).

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Correction of an ineffective incorporation by reference:Option 1: An amendment may be made a) to insert the required root words, and/or b) to clearly identify the referenced patent, U.S. application publication, or if nonessential material, the application or other publication. See § 1.57(g).

Example: Given language “the disclosure of application attorney docket number 1234.5 entitled “Glow in the Dark Tennis Ball” to Jones, filed Jan. 1, 2003 is hereby incorporated by reference.” A permitted amendment would be: “the disclosure of U.S. patent 5,555,555 entitled “Glow in the Dark Tennis Ball” to Jones is hereby incorporated by reference.” Note: An application number (if non-essential material) may be used to replace “attorney docket number 1234.5.”

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Correction of an ineffective incorporation by reference (continued)Option 2: An amendment may be made inserting the material intended to be incorporated. § 1.57(f).

This option could be used for adding essential material found in certain documents (e.g., pending U.S. applications, foreign patent documents and NPL).

Where incorporation by reference would be improper This option could additionally be used for adding nonessential material. An amendment to include the incorporated material must be accompanied

by a statement that the material being inserted is the material previously incorporated by reference and that the amendment contains no new matter.

This requirement is a change from previous practice. An affidavit or declaration (that the amendatory material consists

of the same material incorporated by reference in the referencing application) is no longer required. Form Par. 6.19 will be updated consistent with § 1.57(f).

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Incorporation by Reference of Essential and Nonessential Material 37 CFR 1.57(g) (New)

If an incorporation by reference of essential material is ineffective, such as incorporation from a pending unpublished application, (which is no longer permitted), a rejection under 35 USC 112 paragraphs 1, 2 or 6 will be made, as appropriate. Applicants should not request to hold a correction of an incorporation by reference in abeyance since such a request to hold a correction in abeyance is no longer permitted. Any applicant initiated correction must be made no later than close of prosecution as defined in § 1.114(b) or abandonment, whichever is earlier. § 1.57(g).

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Tables, Sequence Listings, & Font Sizes, 37 CFR 1.58 and 1.83

Tables and Sequence Listings included in the specification must not be duplicated in the drawings (§§ 1.58(a), 1.83): The prohibition does not apply to applications filed under 35

USC 371.Tables filed in electronic form must be encoded to visually maintain the relational information they convey when the file is opened for viewing in the Office (e.g., rows and columns) (§ 1.58(b)).Recommended Font Size: The rule is revised to recommend that the preferred font size is 12, which is approximately 0.166 inches or 0.422 cm high (§ 1.58(c)). See also § 1.52(b)(2)(ii).

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Application Data Sheet (ADS)37 CFR 1.76

ADS, and any supplemental ADS, must have: The appropriate title (i.e., “Application Data Sheet” or

“Supplemental Application Data Sheet”); All seven section headings; The appropriate data for each section; and Additionally, for supplemental ADSs, identification of what is

being corrected, added, or deleted.A supplemental ADS must be a complete replacement ADS showing the changes using underlining and strike-through. Submitting only the changes or new information in a

supplemental ADS is no longer permitted.

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Application Data Sheet (ADS)37 CFR 1.76

If an ADS is inconsistent with information provided in another document that was submitted at the same time or prior to the ADS submission, the ADS will control:

e.g., the correspondence address designated in an ADS is used instead of the address in a transmittal letter that was submitted prior to or with the ADS,

but not for inventorship or citizenship. (§ 1.76(d)(1) and (2))

The option of utilizing a § 1.63 oath or declaration to correct captured bibliographic data has been eliminated (§ 1.76(d)(4)).

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Domestic Benefit Claims & Double Patenting Rejections 37 CFR 1.78

Effective Date: September 21, 2004Former practice required a single sentence to identify benefit claims to prior U.S. applications. This is still permitted.Multiple Sentences Permitted: multiple sentences forming a continuous string starting with the first sentence of the specification are now permitted to identify benefit claims to prior U.S. applications. The multiple sentences must begin as the first sentence after the title, and the

second, or any additional, sentence including a benefit claim must follow the first sentence and not be separated from the first sentence by any other sentence not making a benefit claim.

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Domestic Benefit Claims & Double Patenting Rejections 37 CFR 1.78

Double Patenting Rejections: the rule clarifies that the prior art exclusion under 35 U.S.C. 103(c) (common assignee) does not preclude a double patenting rejection. § 1.78(c). Applicants responsibility has not changed. They should still disclose

all related applications where a double patenting rejection can be made, and should disclose any related application(s) if there is any doubt. 37 CFR 1.56.

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Drawings 37 CFR 1.84

Codification of a previous OG Notice to remove the requirement for black and white copies of color drawings and photos.Adds recommendation that original drawings include identification labels, and if labels are provided they must be placed on (§ 1.84(c)):

front of drawing, and within the top margin.

Identification Labels: To be consistent with § 1.121(d), drawings submitted in an amendment must be identified as either:

“Replacement Sheet” (amended drawing), “New Sheet,” or “Annotated Sheet” (for a marked-up copy).

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Models, Exhibits, and Specimens 37 CFR 1.91 and 1.94

Effective Date: October 21, 2004Photos Now Required: Physical models or exhibits that the Office cannot scan must be accompanied by photographs substantially in compliance with § 1.84, showing adequate multiple views of material features.Artifact File: Models, exhibits or specimens that cannot be scanned for IFW, will be stored in artifact folders until they can be disposed of.Applicant can be required to arrange for the return of their model, exhibit or specimen upon notification at applicant’s expense when they are no longer necessary for the conduct of business before the Office. Retention by applicant is ordinarily required for the enforceable life of any patent.The Office will dispose of perishables without notice to the applicant unless applicant notifies the Office upon submission that a return is desired and promptly makes arrangements for their return upon notification by the Office.

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Information Disclosure Statements37 CFR 1.98 - No Copies Required

Applies to pending applications.Per § 1.98(a)(2), a copy of each cited U.S. patent and U.S. patent application publication is no longer required to be filed with an IDS. The filing date of the application being examined is no longer relevant.

Strategic Plan Final Rule, effective October 21, 2004 This rule expands on Information Disclosure Statements May Be Filed Without Copies of

U.S. patents and Published Applications in Patent Applications filed after June 30, 2003, 1273 Off. Gaz. Pat. Office 55 (August 5, 2003).

Per waiver in OG Notice, a copy of each cited pending U.S. patent application, or portion of the application which caused it to be listed, is no longer required to be filed with an IDS if:

1. The cited pending application is stored in the IFW system; and 2. The cited information is limited to the specification, including the claims, and

drawings, of the cited pending U.S. application, even if it is stored in an artifact folder. See examples on the next slide.

See Waiver of the Copy Requirement in 37 CFR 1.98 for Cited Pending U.S. Patent Applications, 1287 Off. Gaz. Pat. Office 163 (October 19, 2004)(signed Sept. 21, 2004).

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Information Disclosure Statements37 CFR 1.98 – OG Waiver, Artifacts

Examples when a pending U.S. patent application is cited in an IDS

Example 1: If the cited information from a pending application in IFW is a sequence listing or large table stored on a CD that is part of the specification, a copy of the sequence listing or table stored on a CD is not required. Examiner may order the CD from the artifact folder of the cited pending application when considering the IDS.

Example 2: If the cited information from the pending application is an Office action, affidavit, exhibit, or IDS filed in the cited pending U.S. application which is not part of the specification, a copy of the cited paper is required. Applicant should cite the pending U.S. application in the “Non Patent

Literature Documents” section of the PTO/SB/08B and provide a copy of the paper.

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Applicants are still required to submit a copy of:

a) Each cited foreign patent document;

b) Each cited non-patent literature publication, or the portion therein which caused it to be listed;

c) Each cited U.S. pending application that is not stored in IFW;

d) All information cited (e.g., an affidavit or Office action), other than the specification, including claims and drawings, of a pending U.S. application; and

e) All other cited information or the portion which caused it to be listed.

Information Disclosure Statements 37 CFR 1.98 - Copy Requirements

December 8, 2004 45

Recommendation: Applicants are encouraged to file an e-IDS via EFS for U.S. patents and patent application publications rather than a paper IDS form (1449 or PTO/SB/08) listing the citations.

A paper IDS may include a compact disk (CD) that has tables, sequence listings, or program listings. See 37 CFR 1.52(e).

A CD cannot be used to submit an IDS listing, nor copies of patents and publications.A large number of citations of U.S. patents, U.S. patent application publications and U.S. patent applications may trigger an Office requirement for applicant to supply paper copies for all citations. See preamble discussion in Final Rule notice.

Information Disclosure Statements37 CFR 1.98 - Electronic Submissions

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Information Disclosure Statements 37 CFR 1.98 - Format Requirements

Additional format requirements for the listing of cited prior art documents:

a) A separate section for citations of U.S. patents and U.S. patent application publications;

b) The application number of the application in which the IDS is being submitted on each page of the listing;

c) A column that provides a blank space next to each citation for the examiner’s initials when the examiner considers the cited document; and

d) A heading on the listing that clearly indicates that the list is an Information Disclosure Statement (e.g., not a citation of prior art under § 1.99 or § 1.291).

December 8, 2004 47

Information Disclosure Statements 37 CFR 1.98 - Format Requirements

Applicants will generally comply with the format requirements if they use current forms PTO/SB08A & B (Rev. 08-03 or later).An IDS list that is, or includes, a copy of a previously initialed PTO-1449 or PTO/SB/08 form from another application may no longer be acceptable it may not have a blank space for the examiner to initial and the correct application number may not be on each page of the list.

If the IDS is not in compliance with the format requirements, it may not be considered.

December 8, 2004 48

Advancement of Examination 37 CFR 1.102

A petition without fee to make an application special based on an invention’s ability to counter terrorism has been established. § 1.102(c).There must be a good faith effort to determine that the claimed invention is in fact materially directed to countering terrorism. §§ 1.56 and 10.18(b).

Note: Where the disclosure of the application is not clear on its face that the claimed invention is materially directed to countering terrorism, an explanatory statement to that effect is required. MPEP 708.02, XI.

December 8, 2004 49

Requirements for Information 37 CFR 1.105

Section 1.105 has been amended to additionally provide for requiring factual information (not opinions nor the level of ordinary skill in the art) via:

Interrogatories in the form of specific questions seeking applicant’s factual knowledge; or

Stipulations as to facts with which the applicant may agree or disagree.

The types of factual information concerning: The related art; The disclosure; Claimed subject matter; Other factual information pertinent to patentability; or The accuracy of the examiner’s stated interpretation of such items.

December 8, 2004 50


Specific examples of applicant’s actual knowledge:1. The common technical features shared among all claims or

admission that certain groups of claims do not share any common technical features;

2. The support found in the disclosure for means or step plus function limitation recited in the claim (the corresponding structure, material or acts) (35 U.S.C. 112, 6th paragraph);

3. The portions of the disclosure that provide the written description and enablement support for specific claim elements;

4. The intended meaning of claim limitations or terms, such as what teachings in the prior art would be covered and which dictionary definitions would be appropriate.

December 8, 2004 51


Specific examples of applicant’s actual knowledge (continued):

5. The portions of each claim that correspond to any admitted prior art of the specification;

6. The specific utility provided by the claimed subject matter on a claim by claim basis;

7. Whether a dependent claim element is known in the prior art based on the examiner having a reasonable basis for believing so;

8. The support for added limitations in an amended claim; and9. The facts related to public use or sale situations.

December 8, 2004 52


The Office may accept as a complete reply to a requirement for factual information that the information is unknown or is not readily available, without further specification as to which of the two is relied upon: Such reply may only be used after applicant has made a good faith

attempt to obtain the information based on reasonable inquiry; and Such reply may affect the prosecution of the application, e.g.:

• Where the inquiry is in regard to correlation of structure set forth in the specification with a claim under 35 U.S.C. 112, paragraph 6, a reply that the correlation in the specification is unknown may cause, e.g., rejections under 35 U.S.C. 112, paragraphs 1 and 2 to be made.

For a transition period, the Office will provide management review of requirements for information for interrogatories and stipulations.

December 8, 2004 53

Supplemental Replies37 CFR 1.111(a)(2)

Supplemental replies are no longer entered as a matter of right. After a complete reply has been filed, the Office may enter a supplemental reply that is filed before final rejection or allowance and in sufficient time to be entered into the application file, if the subsequent reply is clearly limited upon cursory review to:

• Cancellation of claims; • Adoption of an examiner suggestion(s);• Placement of the application in condition for allowance;• Reply to an Office requirement made after the first reply was filed;• Correction of informalities (e.g., typographical errors); or• Simplification of issues for appeal.

December 8, 2004 54

Supplemental Replies37 CFR 1.111(a)(2)

Supplemental replies filed during a suspension of action under § 1.103(a) or (c) will continue to be entered as a matter of right. If the applicant wishes to have a (not-entered) supplemental reply considered by the examiner, applicant must include the contents of the supplemental reply in a subsequent proper reply. IDSs are not considered replies and are not subject to the new limitations: except where a second IDS is submitted in reply to a § 1.105 requirement

for information.

December 8, 2004 55

Preliminary Amendments37 CFR 1.115

Effective Date: Applies to applications filed on or after September 21, 2004.Preliminary amendments that are present on the filing date of an application are treated as part of the original disclosure: Applicants are responsible for reviewing all preliminary

amendments present on the filing date and providing a reference thereto in a § 1.63 oath or declaration for each such preliminary amendment containing subject matter not otherwise present in the application as filed.

Preliminary amendments seeking cancellation of all the claims without presenting any new or substitute claims will be disapproved.

December 8, 2004 56

Reissue Applications 37 CFR 1.175 and 1.178

If a reissue continuation of a reissue application is filed and the parent reissue is not being abandoned, then the continuation must identify an error not corrected in the parent reissue application. § 1.175.

The requirement for physical surrender of the original patent has been eliminated. § 1.178. Surrender is automatic upon grant of the reissue

patent. Effective date: September 21, 2004, the date of

publication of the final rule. Applies retroactively to all pending reissue applications.

December 8, 2004 57

Eighteen Month Publication of Application 37 CFR 1.215

Patent application publications may be based on amendments to (§ 1.215(a)): Abstract; Claims that are reflected in a complete claim listing; Drawings; and Specification (other than abstract or claims) if amended via a

substitute specification.The amendment must be submitted in sufficient time to be entered into the Office file wrapper of the application before technical preparations for publication have begun: Generally four months prior to the projected date of publication.

December 8, 2004 58

Protests, Second or Subsequent 37 CFR 1.291

A statement must accompany a protest that it is the first protest submitted in the application by the real party in interest (who does not need to be identified), or there must be compliance with the requirements for second or subsequent protests (§ 1.291(b)(2)):

This section does not apply where a protest is the first protest in the application.

To eliminate cumulative prior art submissions by a single protester, second or subsequent protests must explain: (a) why additional prior art issues are significantly different; and (b) why they were not earlier presented. (§ 1.291(c)(5)).

In addition, a processing fee under § 1.17(i) is required.

December 8, 2004 59

List of ContactsGenerally : Robert Spar, Director (571) 272-7700

Hiram Bernstein (571) 272-7707 Office of Patent Legal Administration (571) 272-7701

§§ 1.4, 1.52, 1.57 (b)-(g), 1.58(b) & (c) - Michael Lewis (571) 272-7755 §§ 1.6, 1.19, 1.58(a) & (c), 1.83, 1.84 - Karin Ferriter (571) 272-7744 §§ 1.17, 1.102, 1.291 - James Engel (571) 272-7725 §§ 1.27, 1.57(a), 1.91, 1.94 - Eugenia Jones (571) 272-7727 §§ 1.78, 1.98 - Jeanne Clark (571) 272-7714 § 1.76 - Kery Fries (571) 272-7757 § 1.105 - Anton Fetting (571) 272-7717 § 1.111 - Joni Chang (571) 272-7720 § 1.115 - Fred Silverberg (571) 272-7719 § 1.215 - Mark Polutta (571) 272-7709 §§ 1.175, 1.178 - Kenneth Schor (571) 272-7710

December 8, 2004 60

For More Information

Questions and answers regarding this final rule package will be posted on the Office’s official website, http://www.uspto.gov.

This slide set, signature examples and executive summary are also available on the Office’s web site at: http://www.uspto.gov/web/offices/pac/dapp/opla/preognotice/spfrmoreinfo.html

II. Rules of Practice before the Board of Patent Appeals and Interferences Changes

Rules of Practice before the Board of Patent Appeals and Interferences, Final Rule, 69 Fed. Reg. 49959 (August 12, 2004), 1286 Off. Gaz. Pat. Office 204 (September 7, 2004).Effective date: September 13, 2004

December 8, 2004 61

December 8, 2004 62

Practice Before the BPAI

Effective Date: September 13, 2004Generally, any paper filed by applicants or mailed by the Office on or after September 13, 2004 must comply with the revised or new rules.Appeal briefs filed prior to September 13, 2004 must either comply with former § 1.192 or new § 41.37.Certificate of mailing or transmission in compliance with § 1.8 will be applicable to determine if a paper was filed prior to the effective date in order to determine which rule applies.

For more information concerning the effective date, see OG notice, Clarification of the Effective Date Provision in the Rules of Practice Before the Board of Patent Appeals and Interferences (Final Rule), available on the USPTO web site at www.uspto.gov.

December 8, 2004 63


New part 41 for rules relating to appeals and practicebefore BPAI:

General Provisions – subpart A, §§ 41.1-41.20.Ex Parte Appeal – subpart B, §§ 41.30-41.54. Inter Partes Reexamination Appeal – subpart C, §§ 41.60-41.81.Contested Cases (including interferences) – subpart D, §§41.100-41.158.Patent Interferences – subpart E, §§ 41.200-41.208.Section 1.191 has been revised to refer to part 41.Sections 1.192-196 have been deleted.

December 8, 2004 64


Subpart B – Ex Parte Appeals:Definitions - § 41.30.Appeal to Board - § 41.31. Amendments and affidavits or other evidence after appeal - § 41.33.Jurisdiction over appeal - § 41.35.Appeal brief - § 41.37.Examiner’s answer - § 41.39.Reply brief - § 41.41Examiner’s response to reply brief (supplemental examiner’s answer) - § 41.43.Oral hearing - § 41.47Decisions and other actions by the Board - § 41.50Rehearing - § 41.52Action following decision - § 41.54.

December 8, 2004 65

Significant Changes for Ex Parte Appeals:1. The standard for entering affidavits or other evidence submitted after a

final rejection now are set forth in §1.116(e) and §41.33(d)(1) & (d)(2).2. The requirements of the content and format of the appeal brief have

been revised (§41.37).3. Examiner's answer may include a new ground of rejection (§41.39).

• Appellant may request that prosecution be reopened (§41.39(b)) when the examiner’s answer includes a new ground of rejection.

4. Supplemental examiner's answer is permitted to respond to any new issue raised in the reply brief (§41.43).

5. After a BPAI remand for further consideration of a rejection, if an examiner’s answer is written, appellant may request that prosecution be reopened (§41.50(a)(2)).


December 8, 2004 66


FRNoticeOf Appeal

AppealBrief

Decision

§ 1.116§§ 41.33(a) & (d)(1)

§§ 41.33(b),(c) & (d)(2)

The practice for amendments filed after final action, but prior to the date of filing a brief, has not changed (§§1.116 and 41.33(a)).

Sections 41.33(a), (b) & (c) apply to amendments.Sections 41.33(d)(1) & (d)(2) apply to affidavits and other evidence.

December 8, 2004 67

The practice for amendments filed after final action, but prior to the date of filing a brief, has not changed (§1.116 and §41.33(a) have the same standard for entry). Amendments filed after the mailing of a final Office action, but prior to

the date of filing a brief, may be admitted only to:• Cancel claims;• Comply with any requirement of form expressly set forth in a

previous action;• Present rejected claims in better form for consideration on appeal; or • Amend the specification or claims upon a showing of good and

sufficient reasons why the amendment is necessary and was not earlier presented.

Practice Before the BPAIAmendments - §1.116 and §41.33(a)

December 8, 2004 68

The practice for amendments filed after final action, but prior to the date of filing a brief, has not changed (§1.116 and §41.33(a) have the same standard for entry) (continued). If an amendment filed after final action, but prior to the date

of filing an appeal brief, is denied entry, an advisory action (PTOL-303) will be mailed to notify the applicant of the reason for non-entry.

Examiner may enter an amendment filed after final action, but prior to the date of filing an appeal brief, that places the application in condition for allowance.

Practice Before the BPAIAmendments - §1.116 and §41.33(a)

December 8, 2004 69

New § 41.33(b) provides that amendments filed on or after the date of filing an appeal brief may be admitted only to: – Cancel claims, where such cancellation does not affect the scope of

any other pending claim in the proceeding, or – Rewrite dependent claims into independent form.

• No limitation of a dependent claim can be excluded in rewriting that claim into independent form.

New § 41.33(c) provides that all other amendments filed after notice of appeal will not be entered, With a few exceptions, e.g., applicant requests that prosecution be

reopened where the examiner’s answer includes a new ground of rejection.

Practice Before the BPAI Amendments - §41.33(b) & (c)

December 8, 2004 70

Rule 1.116 now specifically applies to affidavits or other evidence

Affidavits or other evidence filed after final action, but before or on the date of filing a notice of appeal, may be admitted upon a showing of good and sufficient reasons why the affidavit or other evidence is necessary and was not earlier presented (§ 1.116(e)).

• Other evidence includes declarations and exhibits, but not IDSs (which are treated in accordance with §§ 1.97 and 1.98).

Practice Before the BPAIAffidavits or Other Evidence - § 1.116(e)

December 8, 2004 71

Practice Before the BPAIAffidavits or Other Evidence - §41.33(d)(1)&(d)(2)

Affidavits or other evidence filed after the date of filing a notice of appeal, but prior to the date of filing a brief, (§41.33(d)(1)) may be admitted if the examiner determines that:A showing of good and sufficient reasons why the affidavit or other

evidence is necessary and was not earlier presented has been made; and

The affidavit or other evidence overcomes all rejections under appeal.

Section 41.33(d)(2) provides that all other affidavits or other evidence filed after the date of filing a notice of appeal will not be entered,With a few exceptions, e.g., applicant requests that prosecution be

reopened where the examiner’s answer includes a new ground of rejection.

December 8, 2004 72

Practice Before the BPAI Appeal Brief - § 41.37

Appeal Brief – copy requirement and time for filing (§ 41.37)One copy of the brief is required rather than three copies consistent with the implementation of IFW. The brief is required to be filed within two months from the date of filing of the notice of appeal. The time allowed for reply to the action from which the appeal was

taken is no longer relevant.The time period for filing the brief is extendable under:§§ 1.136(a) & (b) for patent applications (e.g., may extend up to five

months after the two month time period); and § 1.550(c) for ex parte reexamination proceedings. See §41.37(e).

December 8, 2004 73


Appeal Brief – effective date impactAppeal Brief filed on or after September 13, 2004 must be in compliance with the requirements of § 41.37(c).Appeal Brief filed prior to September 13, 2004 must either be in compliance with the requirements set forth in former § 1.192 or new §41.37(c).If an appeal brief filed prior to the effective date fails to comply with former § 1.192 and the Office mails a notice requiring correction(s), an amended brief that complies with either former § 1.192 or § 41.37(c) would be acceptable.If appellant reinstates the appeal on or after the effective date, the second appeal brief must be in compliance with the requirements of §41.37(c).

December 8, 2004 74


Content and format of the appeal brief (§ 41.37) The brief must contain the following items (§ 41.37(c)):i. Real party in interest (similar to former § 1.192).

A statement identifying by name the real party in interest even if the party named in the caption of the brief is the real party in interest.

ii. Related appeals and interferences (similar to former § 1.192).Identification of all other prior and pending appeals, interferences or judicial proceedings which may be related to, directly affect or be directly affected by or have a bearing on the Board’s decision.

iii. Status of claims (similar to former § 1.192).The status of all the claims in the proceeding (e.g., rejected, allowed or confirmed, withdrawn, objected to, canceled) and an identification of the appealed claims.

December 8, 2004 75


The brief must contain the following items (§ 41.37(c)) (continued):iv. Status of amendments (same as former § 1.192).

A statement of the status of any amendment filed subsequent to final rejection.

v. Summary of claimed subject matter (replacing “summary of invention”).A concise explanation of the subject matter defined in each of the independent claims involved in the appeal,

Must refer to the specification by page and line number, and to the drawing, if any, by reference characters.

For each independent claim involved in the appeal and for each dependent claim argued separately,

Every means plus function and step plus function must be identified, and The structure, material, or acts described in the specification as corresponding to each claimed function must be set forth with reference to the specification by page and line number, and to the drawing, if any, by reference characters.

December 8, 2004 76


The brief must contain the following items (§ 41.37(c)) (continued):

vi. Grounds of rejection to be reviewed on appeal (replacing “issues for review” and “grouping of claims”).

Example: Claims 1 to 10 stand rejected under 35 U.S.C. 102(b) as being anticipated by U.S. Patent No. X.

vii. Argument (has been revised).A separate heading is required for each ground of rejection. Any claim(s) argued separately should be placed under a subheading.A statement which merely points out what a claim recites will not be considered an argument for separate patentability of the claim.When multiple claims subject to the same ground of rejection are argued as a group, the Board may select a single claim from the group to decide the appeal with respect to the group of claims as to the ground of rejection on the basis of the selected claim alone.

December 8, 2004 77


The brief must contain the following items (§ 41.37(c)) (continued):

viii. Claims appendix (similar to former § 1.192).A copy of the claims involved in the appeal.

ix. Evidence appendix (new)Copies of any evidence entered and relied upon in the appeal.

x. Related proceedings appendix (new) Copies of decisions rendered by a court or the Board in any proceeding identified in the related appeals and interferences section.

December 8, 2004 78


Non-compliant appeal briefs (§ 41.37(d))

If a brief does not comply with the requirements set forth in § 41.37, the appellant will be notified of the reasons for noncompliance.Appellant will be given 1 month or 30 days from the mailing of the

notification of non-compliance, whichever is longer, to file an amended brief. See §41.37(d).

The time period for filing the amended brief is extendable under:• §§ 1.136(a) and (b) for patent applications (e.g., may extend

up to five months after the two month time period); and • § 1.550(c) for ex parte reexamination proceedings. See

§41.37(e).

December 8, 2004 79

Practice Before the BPAIExaminer’s Answer - § 41.39

A new ground of rejection is now permitted in an examiner’s answer mailed on or after September 13, 2004 (§41.39(a)(2)). A new ground of rejection should be rare, rather than a routine

occurrence.Any new ground of rejection made in an answer must be:1. Approved by a Technology Center Director or designee; and2. Prominently identified (e.g., a separate heading with all capitalized

letters) in the following sections of the answer:• Grounds of Rejection to be Reviewed on Appeal section; and• Grounds of Rejection section.

December 8, 2004 80

Practice Before the BPAIExaminer’s Answer - § 41.39

Appellant options if examiner's answer includes a new ground of rejection (§41.39)

If an examiner’s answer contains a new ground of rejection, appellant must, within two months, either:1. Request that prosecution be reopened by filing a § 1.111 reply ; or2. Request that the appeal be maintained by filing a reply brief.The two month time period under § 41.39 is not extendable under

§1.136(a).If appellant fails to take action, the appeal will be sua sponte dismissed as to the claims subject to the new ground of rejection.

December 8, 2004 81

Practice Before the BPAI Reply Brief - § 41.41

Appellant has a right to file a reply brief (§ 41.41)

Appellant may file a reply brief to an examiner’s answer within two months from the mailing of the examiner’s answer. See § 41.41.If examiner provides a supplemental examiner’s answer to respond to a reply brief, appellant may file another reply brief within two months from the mailing of the supplemental examiner’s answer. See § 41.43(b).Extensions of time under § 1.136(a) are not available for filing a reply brief.

December 8, 2004 82


After reply brief - a supplemental examiner's answer is now permitted to respond to any new issue raised in the reply brief (37 CFR 41.43)If the reply brief includes new issues (e.g., appellant for the first time argues that the secondary reference is nonanalogous art), the examiner may either:

1. Withdraw the final rejection and reopen prosecution; or 2. Furnish a supplemental examiner's answer (mailed on or after

September 13, 2004) responding to any new issue raised in the reply brief.

A Technology Center Director or designee must approve every supplemental examiner’s answer.A supplemental examiner’s answer responding to a reply brief may not include a new ground of rejection.

December 8, 2004 83

Practice Before the BPAIAppellant’s Options After a Remand - § 41.50(a)(2)

If a supplemental examiner’s answer is written after a BPAI remand, appellant may request that prosecution be reopened pursuant to § 41.50(a)(2) if:1. The remand by the Board is for further consideration of a

rejection; and2. The date of the remand is on or after the September 13, 2004.Appellant may not request that prosecution be reopened:1. If the Board remands the application prior to September 13, 2004;

or2. If the Board remands the application for a reason other than for

further consideration of a rejection.

December 8, 2004 84

Practice Before the BPAIAppellant’s Options After a Remand - § 41.50(a)(2)

Appellant must, within two months from the mailing of a supplemental examiner’s answer written in response to a remand by the Board for further consideration of a rejection, either:1. Request that prosecution be reopened by filing a reply § 1.111, or 2. Request that the appeal be maintained by filing a reply brief. The two month time period under § 41.50(a)(2) is not extendable

under § 1.136(a).If appellant fails to take action, the appeal will be sua sponte dismissed as to the claims subject to the rejection for which the Board has remanded for further consideration. See §41.50(a)(2).

December 8, 2004 85

Practice Before the BPAI Suggesting an interference - § 41.202

Suggesting an interference is proposing rejection of someone else's claim, requiring precision in the statement of the rejection (37 CFR 41.202(a))The claimed inventions must be the same: Claim A would anticipate or render obvious the subject matter of claim B and vice versa.Each "same" invention defines a count.Every claim involved in the interference must be anticipated by, or obvious over, a count.There must be an explanation of why the targeted application or patent will lose under 35 U.S.C. 102(g)(1).

December 8, 2004 86

Practice Before the BPAISuggesting an interference - § 41.202 (cont.)

A patentee cannot suggest an interference directly (see § 41.202(b)).An examiner may require an applicant to add an interfering claim: failure to comply will result in forfeiture of the subject matter of the proposed claim.A showing of priority may show why the applicant was first or why the targeted application or patent is not entitled to its effective filing date.

December 8, 2004 87

Practice Before the BPAI Effect of judgment - § 41.127

Judgment:Ends the interference Is required for judicial review

Adverse judgment:Finally disposes of a claimCreates an estoppel within the Office from taking action

inconsistent with the judgment• including remedies that could have been, but were not, sought during

the interference

May include a recommendation to the examiner for further action

December 8, 2004 88

Practice Before the BPAI Subpart A – General Provisions:

Policy - § 41.1.Definitions - § 41.2. Petitions - § 41.3.Timeliness - § 41.4.Counsel - § 41.5.Public availability of Board records - § 41.6.Management of the record - § 41.7.Mandatory notices - § 41.8.Action by owner - § 41.9.Correspondence addresses - § 41.10.Ex parte communications in inter partes proceedings - § 41.11.Citation of authority - § 41.12.Fees - § 41.20.

December 8, 2004 89

Practice Before the BPAI Mandatory Notices - § 41.8

In patent appeals and contested cases, appellant/party must notify the Board of any change to the real party-in-interest within 20 days of the change.In patent appeals and contested cases, appellant/party must notify the Board of any additional judicial or administrative proceeding that could affect, or be affected by, the Board proceeding that the appellant/party becomes aware of within 20 days of becoming aware of the additional judicial or administrative proceeding.

December 8, 2004 90

Practice Before the BPAI Correspondence Address - § 41.10

Correspondence in an ex parte appeal and an inter partes reexamination should be mailed to the following address:

Board of Patent Appeals and InterferencesUnited States Patent and Trademark OfficePO Box 1450Alexandria, Virginia 22313-1450

Correspondence in a contested case (which includes an interference) should be mailed to the following address:

Mail Stop INTERFERENCEBoard of Patent Appeals and InterferencesUnited States Patent and Trademark OfficePO Box 1450Alexandria, Virginia 22313-1450

December 8, 2004 91

Practice Before the BPAI Ex Parte Communications in Inter Partes Proceedings - § 41.11

No ex parte communication about an inter partes reexamination or about a contested case with a Board member, or with a Board employee assigned to the proceeding, is permitted.

December 8, 2004 92

Practice Before the BPAI Citation of Authority - § 41.12

Citations to authority must include:For any U.S. Supreme Court decision, a United States

Report citation;For any decision other than U.S. Supreme Court

decision, parallel citation to both the West Reporter System and Unites States Patents Quarterly, whenever the case is published in both; and

Pinpoint citations whenever a specific holding or portion of an authority is invoked.

III. Power of Attorney and Assignment Practice Changes

Revision of Power of Attorney and Assignment Practice, Final Rule, 69 Fed. Reg. 29865 (May 26, 2004), 1283 Off. Gaz. Pat. Office 148 (June 22, 2004). Effective Date: June 25, 2004.

December 8, 2004 93

December 8, 2004 94

Why is Power of Attorney Important?

An attorney or agent who does not have a POA may not: Change the correspondence address or sign a power to

inspect (except where an executed oath or declaration has not been filed, and the practitioner filed the application);

Expressly abandon the application without filing a continuing application; or

Sign a terminal disclaimer.

December 8, 2004 95

Power of Attorney; New 37 CFR 1.32

A power of attorney (§ 1.32(b)): Must be in writing, Name one or more representatives in compliance with §

1.32(c), Give the representative power to act on behalf of the

principal, and Be signed by the applicant for patent (§ 1.41(b)) or the

assignee of the entire interest of the applicant

December 8, 2004 96

Power of Attorney; Name Appropriate Representatives

If POA was filed on or after June 25, 2004, the POA must comply with § 1.32(c). Representatives who may be appointed: (1) one or more joint inventor; (2) up to ten registered patent attorneys or registered

patent agents (if POA filed on or after June 25, 2004 unless in PCT application that has not entered the national stage); or

(3) those registered patent practitioners associated with a Customer Number.

December 8, 2004 97

Power of Attorney; Up to Ten Practitioners

If a POA filed on or after June 25, 2004 names more than ten patent practitioners: The power of attorney must be accompanied by a separate

paper indicating which ten patent practitioners named in the power of attorney are to be recognized by the Office as being of record in application or patent to which the power of attorney is directed.

If there is no separate paper accompanying the power of attorney, no power of attorney will be entered.

December 8, 2004 98

Power of Attorney; New 37 CFR 1.32(c)

The separate paper can be signed by one of the attorneys or agents of record, by a patent attorney or agent acting in a representative capacity, the assignee, acting pursuant to 37 CFR 3.73(b), or by all of the applicants.The separate paper cannot request that a Customer Number be used instead, only the applicant or assignee can give power of attorney to a Customer Number.

December 8, 2004 99

Recent Changes to Filing Receipts

The filing receipt now has an indication of the POA. “None” will be printed if POA was not filed or did not comply with 37 CFR 1.32. Only ten will be printed, even if POA filed before June 25, 2004.

December 8, 2004 100

Recent Changes to Filing Receipts

The filing receipt also has a new sentence required by WIPO Standard 10/C.


Associate Power of Attorney

37 CFR 1.34(b) was eliminated effective June 25, 2004. An associate POA filed after this date will not be entered. Associate Powers of Attorney filed before the effective date

of the rule change will continue to have effect. Customer Number practice allows the list of patent

practitioners associated with an application to be changed easily


Acting in a Representative Capacity § 1.34

A registered patent attorney or patent agent not of record but acting in a representative capacity must specify his/her: Registration number Name (new requirement) Signature

Use sample form “Authorization to Act in a Representative Capacity” PTO/SB/0084 to expressly authorize another practitioner to conduct an interview (available at www.uspto.gov, on the forms page; http://www.uspto.gov/web/forms/sb0084.pdf)


For Additional Information

Consult frequently asked questions posted at:http://www.uspto.gov/web/offices/pac/dapp/poafaqs.

htm

E-Mail: [email protected]: (571)272-7701

Thank You
